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RIA / WealthAdvisor27 years in industry

JOSEPH ARTHUR GARCIA

Advisor at PACIFIC FINANCIAL STRATEGIES, INC

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:59762b9f-b62c-5997-3548-1ecdb7c2e910

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 14, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PACIFIC FINANCIAL STRATEGIES, INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 5, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 5, 1998
First registration: Oct 14, 1998
Dual registered: no
Other names: J ARTHUR GARCIA|ART GARCIA
IAPD individual key: 1626067

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PACIFIC FINANCIAL STRATEGIES, INC	Independent wealth	Mar 13, 2017	n/a	yes	THOUSAND OAKS, CA	Current employment
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Apr 2, 2008	Feb 19, 2010	no	AGOURA, CA\|Sugar Land, TX\|AGOURA, CA\|VENTURA, CA	Previous registration
INDEPENDENT ADVISERS GROUP CORP	Former SEC adviser	Jan 24, 2000	Nov 17, 2003	no	AGOURA, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Oct 14, 1998	Mar 31, 2008	no	AGOURA, CA\|AGOURA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CONCOURSE FINANCIAL GROUP ADVISORS	PACIFIC FINANCIAL STRATEGIES, INC	Feb 19, 2010	Mar 13, 2017	2,579	Firm change after gap	Other
OSAIC FS, INC.	INDEPENDENT ADVISERS GROUP CORP	Mar 31, 2008	Jan 24, 2000	-2,989	Firm change after gap	Other
INDEPENDENT ADVISERS GROUP CORP	CONCOURSE FINANCIAL GROUP ADVISORS	Nov 17, 2003	Apr 2, 2008	1,598	Firm change after gap	Other

Relationships

Registered with (4)

→ PACIFIC FINANCIAL STRATEGIES, INCRegistered adviserregistration: current employment
Mar 13, 2017 to presentfactForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Apr 2, 2008 to Feb 19, 2010factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Oct 14, 1998 to Mar 31, 2008factForm ADV
→ INDEPENDENT ADVISERS GROUP CORPRegistered adviserregistration: previous registration
Jan 24, 2000 to Nov 17, 2003factForm ADV

Dated events

No dated event names this entity yet.